SEC Permits Electronic Filing of Broker-Dealer Annual Reports (Fed. Reg.)

The SEC Division of Trading and Markets adopted a rule that permits broker-dealers and over-the-counter derivatives dealers to file annual and supplemental reports electronically under Securities Exchange Act Rule 17a-5 ("Report to Be Made by Certain Brokers and Dealers") or 17a-12 ("Reports to Be Made by Certain OTC Derivatives Dealers"). Such electronic reports must be filed using the SEC's Electronic Data Gathering, Analysis and Retrieval ("EDGAR") system. The SEC's adoption of the revisions was published in the Federal Register.

The incorporation by reference of the EDGAR Filer Manual will become effective as of January 4, 2016.